Title 49—Transportation--Volume 1
PART 299—TEXAS CENTRAL RAILROAD HIGH-SPEED RAIL SAFETY STANDARDS
§ 299.441   Trainset electronic hardware and software safety.
(a) Purpose and scope. The requirements of this section apply to all safety-critical electronic control systems, subsystems, and components on the trainsets, except for on-board signaling and trainset control system components that must meet the software safety requirements defined in subpart B of this part.
(b) Applicability. (1) The trainsets shall utilize the service-proven safety-critical electronic control systems, subsystems, and components as used on the N700 to control and monitor safety-critical components.
(2) Any modifications to the existing service-proven safety-critical electronic control systems, subsystems, and components shall be subject to the requirements defined in paragraph (c) of this section.
(i) The railroad shall assure that the suppliers of new or modified safety-critical systems, subsystems, and components utilize an industry recognized hardware and software development process which is evaluated and certified by an independent third-party assessor authorized by the industry standard utilized.
(ii) The railroad shall require that all suppliers submit the certifications and audit results as applicable. All such certifications shall be made available to FRA upon request.
(3) Any major upgrades or introduction of new safety-critical technology shall be subject to § 299.613(d).
(c) Electronic hardware and software safety program. The railroad shall develop and maintain a written electronic hardware and software safety program to guide the design, development, testing, integration, and verification of all new or modified safety-critical trainset hardware and software.
(1) Hardware and software safety program description. The hardware and software safety program shall include a description of how the following will be implemented to ensure safety and reliability:
(i) The hardware and software design process;
(ii) The hardware and software design documentation;
(iii) The hardware and software hazard analysis;
(iv) Hardware and software safety reviews;
(v) Hardware and software hazard monitoring and tracking;
(vi) Hardware and software integration safety testing;
(vii) Demonstration of overall hardware and software system safety as part of the pre-revenue service testing of the equipment; and
(viii) Safety-critical changes and failures.
(2) Safety analysis. The hardware and software safety program shall be based on a formal safety methodology that includes a FMECA; verification and validation testing for all hardware and software components and their interfaces; and comprehensive hardware and software integration testing to ensure that the hardware and software system functions as intended.
(3) Compliance. The railroad shall comply with the elements of its hardware and software safety program that affect the safety of the passenger trainset.
(4) Safety-critical changes and failures. Whenever a planned safety-critical design change is made to the safety-critical electronic control systems, subsystems and components (the products) that are in use by the railroad and subject to this subpart, the railroad shall—
(i) Notify FRA in accordance with § 299.9 of the design changes made by the product supplier;
(ii) Ensure that the safety analysis required under paragraph (c)(2) of this section is updated as required;
(iii) Conduct all safety-critical changes in a manner that allows the change to be audited;
(iv) Document all arrangements with suppliers for notification of all electronic safety-critical changes as well as safety-critical failures in the supplier's system, subsystem, or components, and the reasons for that change or failure from the suppliers, whether or not the railroad has experienced a failure of that safety-critical system, sub-system, or component;
(v) Specify the railroad's procedures for action upon receipt of notification of a safety-critical change or failure of an electronic system, sub-system, or component, and until the upgrade or revision has been installed;
(vi) Identify all configuration/revision control measures designed to ensure that safety-functional requirements and safety-critical hazard mitigation processes are not compromised as a result of any such change, and that any such change can be audited;
(vii) Require suppliers to provide notification of all electronic safety-critical changes as well as safety-critical failures in the supplier's system, subsystem, or components;
(ix) Document all arrangements with suppliers for notification of any and all electronic safety-critical changes as well as safety-critical failures in the supplier's system, subsystem, or components.
(d) Specific requirements. Hardware and software that controls or monitors a trainset's primary braking system shall either—
(1) Fail safely by initiating an emergency or urgent brake application in the event of a hardware or software failure that could impair the ability of the driver to apply or release the brakes; or
(2) Provide the driver access to direct manual control of the primary braking system (emergency or urgent braking).
(e) Inspection, testing, and maintenance records. The inspection, testing, and maintenance conducted by the railroad in accordance with § 299.445 shall be recorded in hardcopy or stored electronically. Electronic recordkeeping or automated tracking systems, subject to the provisions contained in § 299.11, may be utilized to store and maintain any testing or training record required by this subpart. Results of product testing conducted by a vendor in support of a safety analysis shall be provided to and recorded by the railroad.
(1) The testing records shall contain all of the following:
(i) The name of the railroad;
(ii) The location and date that the test was conducted;
(iii) The equipment tested;
(iv) The results of tests;
(v) The repairs or replacement of equipment;
(vi) Any preventative adjustments made; and
(vii) The condition in which the equipment is left.
(2) Each record shall be—
(i) Signed by the employee conducting the test, or electronically coded, or identified by the automated test equipment number;
(ii) Filed in the office of a supervisory official having jurisdiction, unless otherwise noted; and
(iii) Available for inspection and copying by FRA.
(3) The results of the testing conducted in accordance with this section shall be retained as follows:
(i) The results of tests that pertain to installation or modification of a product shall be retained for the life-cycle of the product tested and may be kept in any office designated by the railroad;
(ii) The results of periodic tests required for the maintenance or repair of the product tested shall be retained until the next record is filed and in no case less than one year; and
(iii) The results of all other tests and training shall be retained until the next record is filed and in no case less than one year.
(f) Review of safety analysis. (1) Prior to the initial planned use of a new product as defined by paragraphs (b)(2) or (3) of this section, the railroad shall notify FRA in accordance with § 299.9 of the intent to place this product in service. The notification shall provide a description of the product, and identify the location where the complete safety analysis documentation and the testing are maintained.
(2) The railroad shall maintain and make available to FRA upon request all railroad or vendor documentation used to demonstrate that the product meets the safety requirements of the safety analysis for the life-cycle of the product.
(g) Hazard tracking. After a new product is placed in service in accordance with paragraphs (b)(2) or (3) of this section, the railroad shall maintain a database of all safety-relevant hazards encountered with the product. The database shall include all hazards identified in the safety analysis and those that had not been previously identified in the safety analysis. If the frequency of the safety-relevant hazards exceeds the threshold set forth in the safety analysis, then the railroad shall—
(1) Report the inconsistency to the Associate Administrator, within 15 days of discovery in accordance with § 299.9;
(2) Take immediate countermeasures to reduce the frequency of the safety-relevant hazard(s) below the threshold set forth in the safety analysis;
(3) Provide a final report to the Associate Administrator, on the results of the analysis and countermeasures taken to mitigate the hazard to meet the threshold set forth in the safety analysis when the problem is resolved. For hazards not identified in the safety analysis the threshold shall be exceeded at one occurrence; and
(4) Electronic or automated tracking systems used to meet the requirements contained in paragraph (g) of this section shall be in accordance with § 299.11.
(h) Operations and maintenance manual. The railroad shall maintain all supplier or vendor documents pertaining to the operation, installation, maintenance, repair, modification, inspection, and testing of the safety-critical electronic control systems, subsystems and components.
(i) Training and qualification program. Under § 299.13(c)(3), the railroad shall establish and implement a training and qualification program for the safety-critical electronic control systems, subsystems, and components subject to subpart G of this part prior to the safety-critical electronic control systems, subsystems, and components being placed in use.
(j) Operating personnel training. The training program required by § 299.13(c)(3) for any driver or other person who participates in the operation of a trainset using the safety-critical electronic control systems, subsystems and components shall address all the following elements:
(1) Familiarization with the electronic control system equipment on-board the trainset and the functioning of that equipment as part of the system and in relation to other on-board systems under that person's control;
(2) Any actions required of the operating personnel to enable or enter data into the system and the role of that function in the safe operation of the trainset;
(3) Sequencing of interventions by the system, including notification, enforcement, and recovery from the enforcement as applicable;
(4) Railroad operating rules applicable to control systems, including provisions for movement and protection of any unequipped passenger equipment, or passenger equipment with failed or cut-out controls;
(5) Means to detect deviations from proper functioning of on-board electronic control system equipment and instructions explaining the proper response to be taken regarding control of the trainset and notification of designated railroad personnel; and
(6) Information needed to prevent unintentional interference with the proper functioning of on-board electronic control equipment.
§ 299.443   Safety appliances.
(a) Couplers. (1) The leading and trailing ends of each trainset shall be equipped with an automatic rescue coupler that couples on impact.
(i) Uncoupling of the rescue coupler shall be done only at a trainset maintenance facility or other location where personnel can safely get under or between units.
(ii) The leading and the trailing ends of a trainset are not required to be equipped with sill steps or end or side handholds.
(2) The leading and trailing end couplers and uncoupling devices may be stored within a removable shrouded housing.
(3) Leading and trailing automatic couplers of trainsets shall be compatible with the railroad's rescue vehicles. A coupler adaptor can be used to meet this requirement.
(4) The railroad shall develop and implement rescue procedures that assure employee safety during rescue operations and shall be contained in the railroad's operating rules.
(5) Each unit within a trainset shall be semi-permanently coupled and shall only be uncoupled at a trainset maintenance facility or other locations identified by the railroad where the protections afforded in subpart B of part 218 of this chapter can be applied.
(6) The ends of units in a trainset that are semi-permanently coupled are not required to be equipped with automatic couplers, sill steps, end handholds or side handholds.
(b) Crew access. (1) Each trainset shall provide a minimum of two (2) locations per side, where crew members can board or disembark the trainset safely from ground level.
(2) Each location used for crew access shall be equipped with retractable stairs with handrails designed for safe access to the trainset from ground level.
§ 299.445   Trainset inspection, testing, and maintenance requirements.
(a) General. (1) The railroad shall develop a written inspection program for the rolling stock, in accordance with and approved under the requirements of § 299.713. As further specified in this section, the program shall describe in detail the procedures, equipment, and other means necessary for the safe operation of the passenger equipment, including all inspections set forth in paragraph (e) of this section. This information shall include a detailed description of the methods of ensuring accurate records of required inspections.
(2) The initial inspection, testing, and maintenance program submitted under § 299.713 shall, as a minimum, address the specific safety inspections contained in paragraphs (e)(1) through (4) of this section. The railroad may submit the procedures detailing the bogie inspections or general overhaul requirements contained in paragraph (e)(3) and (4) of this section, respectively, at a later date than the initial inspection, testing, and maintenance program, but not less than 180 days prior to the scheduled date of the first bogie inspection or general overhaul.
(b) Identification of safety-critical items. In addition to safety critical items identified under § 299.711(b), on-board emergency equipment, emergency back-up systems, trainset exits and trainset safety-critical hardware and software systems in accordance with § 299.441 shall be deemed safety-critical.
(c) Compliance. The railroad shall adopt and comply with the approved inspection, testing, and maintenance program in accordance with § 299.703.
(d) General condition. The inspection, testing, and maintenance program shall ensure that all systems and components of the equipment are free of conditions that endanger the safety of the crew, passengers, or equipment. These conditions include, but are not limited to the following:
(1) A continuous accumulation of oil or grease;
(2) Improper functioning of a component;
(3) A crack, break, excessive wear, structural defect, or weakness of a component;
(4) A leak;
(5) Use of a component or system under conditions that exceed those for which the component or system is designed to operate; and
(6) Insecure attachment of a component.
(e) Specific safety inspections. The program under paragraph (a) of this section shall specify that all passenger trainsets shall receive thorough safety inspections by qualified individuals designated by the railroad at regular intervals. At a minimum, and in addition to the annual tests required for event recorder under § 299.439(e), the following shall be performed on each trainset:
(1) Pre-service inspections. (i) Each trainset in use shall be inspected at least once every two calendar days by qualified individuals at a location where there is a repair pit and access to the top of the trainset. The inspection shall verify the correct operation of on-board safety systems defined in the inspection, testing, and maintenance program. If any of the conditions defined as safety-critical in paragraph (b) of this section and § 299.711(b) are found during this inspection, the trainset shall not be put into service until that condition is rectified. The pre-service inspection shall include the following:
(A) Functional tests to determine the status of application and release of the service, emergency, and urgent air brakes using the monitoring system;
(B) Operational tests of the exterior doors; and
(C) A review of the log of on-board ATC equipment.
(ii) If the existence of any safety-critical conditions cannot be determined by use of an automated monitoring system, the railroad shall perform a visual inspection to determine if the condition exists.
(2) Regular inspections. The railroad shall perform a regular inspection on all trainsets in accordance with the test procedures and inspection criteria established in paragraph (a) of this section and at the intervals defined by paragraph (f) of this section. If any of the conditions defined as safety-critical in paragraph (b) of this section and § 299.711(b) are found during this inspection, the trainset shall not be put into service until that condition is rectified.
(3) Bogie inspections. The railroad shall perform a bogie inspection on all trainsets in accordance with the test procedures and inspection criteria established in paragraph (a) of this section and at the intervals defined by paragraph (f) of this section. If any of the conditions defined as safety-critical in paragraph (b) of this section and § 299.711(b) are found during this inspection, the trainset shall not be put into service until that condition is rectified.
(4) General overhaul. The railroad shall perform a general overhaul on all trainsets in accordance with the test procedures and inspection criteria established in paragraph (a) of this section and at the intervals defined by paragraph (f) of this section. If any of the conditions defined as safety-critical in paragraph (b) of this section and § 299.711(b) are found during this inspection, the trainset shall not be put into service until that condition is rectified.
(f) Maintenance intervals. The railroad's program established pursuant to paragraph (a) of this section shall include the railroad's scheduled maintenance intervals for all specific safety inspections in paragraph (e) of this section, as required by § 299.707.
(g) Training and qualification program. The railroad shall establish a training and qualification program as defined in § 299.13(c)(3) to qualify individuals to perform inspections, testing, and maintenance on the equipment. Only qualified individuals shall perform inspections, testing, and maintenance of the equipment.
(h) Reporting and tracking of repairs to defective trainsets. The railroad shall have in place prior to start of operations a reporting and tracking system for passenger trainsets with a defect not in conformance with this subpart. The reporting and tracking system shall record the following information:
(1) The identification number of the defective unit within a trainset, and trainset identification number;
(2) The date the defect was discovered;
(3) The nature of the defect;
(4) The determination made by a qualified individual whether the equipment is safe to run;
(5) The name of the qualified individual making such a determination;
(6) Any operating restrictions placed on the equipment; and
(7) Repairs made and the date that they were completed.
(i) Retention of records. At a minimum, the railroad shall keep the records described in paragraph (j) of each required inspection under this section in accordance with § 299.11. Each record shall be maintained for at least one year from the date of the inspection.
(j) Availability of records. The railroad shall make defect reporting and tracking records available to FRA upon request.
(k) Brake system repair points. The railroad shall designate brake system repair points in the inspection, testing, and maintenance program required by paragraph (a) of this section. No trainset shall depart a brake system repair point unless that trainset has a 100 percent operational brake system.
§ 299.447   Movement of defective equipment.
(a) A trainset with one or more conditions not in compliance with the list of safety critical defects identified in accordance with § 299.445(b) during a pre-service inspection required by § 299.445(e)(1) shall not be moved in revenue service and shall only be moved in accordance with paragraph (e) of this section.
(b) Except as provided in paragraph (c) of this section, and after departure in compliance with the pre-service inspection required by § 299.445(e)(1), a trainset with one or more conditions not in compliance with the list of safety critical defects identified in accordance with §§ 299.445(b) and 299.711(b) may be moved in revenue service only after the railroad has complied with all of the following:
(1) A qualified individual determines that it is safe to move the trainset, consistent with the railroad's operating rules;
(i) If appropriate, these determinations may be made based upon a description of the defective condition provided by a crewmember.
(ii) If the determinations required by this paragraph are made by an off-site qualified individual based on a description of the defective condition by on-site personnel, then a qualified individual shall perform a physical inspection of the defective equipment, at the first location possible, in accordance with the railroad's inspection, testing, and maintenance program and operating rules, to verify the description of the defect provided by the on-site personnel.
(2) The qualified individual who made the determination in paragraph (b)(1) of this section, notifies the driver in charge of movement of the trainset, in accordance with the railroad's operating rules, of the maximum authorized speed, authorized destination, and any other operational restrictions that apply to the movement of the non-compliant trainset. This notification may be achieved through the tag required by paragraph (b)(3) of this section; and
(3) A tag bearing the words “non-complying trainset” and containing the following information, are securely attached to the control stand on each control cab of the trainset:
(i) The trainset number and unit or car number;
(ii) The name of the qualified individual making the determination in paragraph (b)(1) of this section;
(iii) The location and date of the inspection that led to the discovery of the non-compliant item;
(iv) A description of each defect;
(v) Movement restrictions, if any;
(vi) The authorized destination of the trainset; and
(vii) The signature, if possible, as well as the job title and location of the person making the determinations required by this section.
(4) Automated tracking systems used to meet the tagging requirements contained in paragraph (b)(3) of this section may be reviewed and monitored by FRA at any time to ensure the integrity of the system. FRA's Associate Administrator may prohibit or revoke the railroad's ability to utilize an automated tracking system in lieu of tagging if FRA finds that the automated tracking system is not properly secure, is inaccessible to FRA or the railroad's employees, or fails to track or monitor the movement of defective equipment adequately. Such a determination will be made in writing and will state the basis for such action.
(c) A trainset that develops a non-complying condition in service may continue in revenue service, so long as the requirements of paragraph (b) of this section are otherwise fully met, until the next pre-service inspection.
(d) In the event of an in-service failure of the braking system, the trainset may proceed in accordance with the railroad's operating rules relating to the percentage of operative brakes and at a speed no greater than the maximum authorized speed as determined by § 299.409(f)(4) so long as the requirements of paragraph (b) of this section are otherwise fully met, until the next pre-service inspection.
(e) A non-complying trainset may be moved without passengers within a trainset maintenance facility, at speeds not to exceed 16 km/h (10 mph), without meeting the requirements of paragraph (a) of this section where the movement is solely for the purpose of repair. The railroad shall ensure that the movement is made safely.
(f) Nothing in this section authorizes the movement of equipment subject to a Special Notice for Repair under part 216 of this chapter unless the movement is made in accordance with the restrictions contained in the Special Notice.
§ 299.449   Trainset image and audio recording system.
(a) Duty to equip and record. (1) Each trainset used in revenue service must be equipped with an image recording system comprised of—
(i) Outward-facing image recording devices capable of recording images of the right-of-way ahead of the trainset in the direction of travel as further described in paragraph (b) of this section; and,
(ii) Inward-facing image recording devices capable of recording images of crewmember activities inside the leading trainset cab as further described in paragraph (c) of this section.
(2) The image recording system must be turned on and recording whenever a trainset is in motion, at all speeds. If operating circumstances cause the controlling cab to be other than the cab of the leading end of the trainset, the railroad must also record images of activities inside the controlling cab.
(3) The trainset image recording system shall record at a minimum the most recent 12 hours of operation of a leading trainset cab used in revenue service.
(4) Image recording device data for each leading trainset cab used in revenue service shall be recorded on a memory module meeting the requirements for a certified crashworthy event recorder memory module described in appendix A to this part or on an alternative, remote storage system that provides at least equivalent data protections and is approved by FRA under paragraph (g) of this section.
(b) Outward-facing recording device requirements for leading trainset cabs used in revenue service. The image recording system shall—
(1) Include an image recording device aimed parallel to the centerline of tangent track within the gauge on the leading end of the trainset;
(2) Be able to distinguish the signal aspects displayed by go/no-go signals;
(3) Record at a minimum frame rate of 15 frames per second (or its equivalent);
(4) Have sufficient resolution, as defined by the railroad in the railroad's inspection, testing, and maintenance program under § 299.445, to record the position of switch points in advance of the trainset at speeds of 170 km/h (106 mph) and below, and to capture images in daylight or with normal nighttime illumination from the headlight of the trainset; and
(5) Include an accurate time and date stamp on image recordings.
(c) Inward-facing image recording device requirements for leading trainset cabs used in revenue service. (1) The image recording system shall include an image recording device positioned to provide complete coverage of all areas of the leading trainset cab where a crewmember typically may be positioned, including complete coverage of the instruments and controls required to operate the trainset in normal use, and—
(i) Have sufficient resolution, as defined in the railroad's inspection, testing, and maintenance program under § 299.445, to record crewmember actions;
(ii) Record at a minimum frame rate of 5 frames per second;
(iii) Be capable of using ambient light in the cab, and when ambient light levels drop too low for normal operation, automatically switch to infrared or another operating mode that enables the recording sufficient clarity to comply with the requirements of this paragraph (c)(1); and
(iv) Include an accurate time and date stamp on image recordings.
(2) Inward-facing image recording devices shall not be installed in a location where the device can record activities within a trainset cab's sanitation compartment, as defined in § 229.5 of this chapter, and shall not be used to make recordings of any activities within a trainset cab's sanitation compartment.
(3) If a leading trainset cab used in revenue service experiences a technical failure of its inward-facing image recording system, then the system shall be removed from service and handled in accordance with paragraph (i) of this section.
(d) Image recording system protection requirements for leading trainset cabs used in revenue service. The railroad must provide convenient wired or wireless connections to allow authorized railroad personnel to download audio or image recordings from any certified crashworthy event recorder memory module in leading trainset cabs used in revenue service. The railroad also must use electronic security measure(s), and apply appropriate cybersecurity measures, to prevent unauthorized access to, and download, deletion, or alteration of, the recording system or its recordings.
(e) Inspection, testing, and maintenance for image recording systems in leading trainset cabs used in revenue service. (1) The image recording system in trainsets used in revenue service shall have self-monitoring features to assess whether the system is operating properly, including whether the system is powered on.
(2) Periodic inspection requirements for the trainset image recording system shall be defined in the railroad's inspection, testing, and maintenance program required under § 299.445. As part of the periodic inspection, the railroad shall take sample download(s) from the image recording system's crashworthy memory module to confirm proper operation of the system, and, if necessary, repair the system to full operation.
(f) Handling of recordings -(1) Chain-of-custody procedure. The railroad shall develop, adopt, maintain, and comply with a chain-of-custody procedure governing the handling and the release of the image recordings described in paragraphs (a) through (c) of this section and any audio recordings. The chain-of-custody procedure must specifically address the preservation and handling requirements for post-accident/incident recordings provided to FRA or other Federal agencies under paragraph (f)(2) of this section.
(2) Accident/incident preservation. If any trainset equipped with an image or audio recording system is involved in an accident/incident that must be reported to FRA under part 225 of this chapter, the railroad shall, to the extent possible, and to the extent consistent with the safety of life and property, preserve the data recorded by the system for analysis by FRA or other Federal agencies. The railroad must either provide the image and/or audio data in a format readable by FRA or other Federal agencies; or make available to FRA or other Federal agencies any platform, software, media device, etc., that is required to play back the image and/or audio data. This preservation requirement shall expire one year after the date of the accident unless FRA or another Federal agency notifies the railroad in writing that it must preserve the recording longer. The railroad may extract and analyze such data for the purposes described in paragraph (f)(3) of this section, only if—
(i) The original downloaded data file, or an unanalyzed exact copy of it, is retained in secure custody under the railroad's procedure adopted under paragraph (f)(1) of this section; and
(ii) It is not utilized for analysis or any other purpose, except by direction of FRA or another Federal agency.
(3) Recording uses. Subject to the conditions specified in paragraph (f)(2) of this section, the railroad may use image and audio recordings from a leading trainset cab used in revenue service subject to this section to—
(i) Investigate an accident/incident that is required to be reported to FRA under part 225 of this chapter;
(ii) Investigate a violation of a Federal railroad safety law, regulation, or order, or the railroad's operating rules and procedures;
(iii) Conduct an operational test under § 299.505;
(iv) Monitor for unauthorized occupancy of a trainset's cab or operating compartment;
(v) Investigate a violation of a criminal law;
(vi) Assist Federal agencies in the investigation of a suspected or confirmed act of terrorism; or
(vii) Perform inspection, testing, maintenance, or repair activities to ensure the proper installation and functioning of an image or audio recorder as required under paragraph (e)(2) of this section.
(g) Image recording system approval process. The railroad must submit for approval a description of the technical aspects of its trainset image recording system installed pursuant this section. The required description must be submitted via electronic mail to the following email address: FRARRSMPE@dot.gov.
(1) The description must specifically address the image recording system's—
(i) Minimum 12-hour continuous recording capability;
(ii) Crashworthiness; and
(iii) Post-accident accessibility of the system's recordings.
(2) The railroad must submit the written statement not less than 90 days before the installation of such image recording system.
(3) The Associate Administrator will review the railroad's description and may approve, or disapprove, the image recording system if it does not meet the requirements of this section. FRA may disapprove any recording systems that do not meet the requirements of this section.
(h) Relationship to other laws. Nothing in this section is intended to alter the legal authority of law enforcement officials investigating potential violation(s) of State criminal law(s), and nothing in this section is intended to alter in any way the priority of investigations under 49 U.S.C. 1131 and 1134, or the authority of the Secretary of Transportation to investigate railroad accidents under 49 U.S.C. 5121, 5122, 20107, 20111, 20112, 20505, 20702, 20703, and 20902.
(i) Removal of an image recording system or device from service and handling for repair. (1) Notwithstanding the duty established in paragraph (a) of this section to equip trainsets cabs used in revenue service with an image recording system, the railroad—
(i) May remove from service the entire image recording system or an image recording device in a leading trainset cab used in revenue service for any reason.
(ii) Must remove from service the entire image recording system or an image recording device in a leading trainset cab used in revenue service if the railroad knows the system or device is not properly recording.
(2) When a railroad removes the entire image recording system or an image recording device in a leading trainset cab used in revenue service from service, a qualified person shall record the date the system or device was removed from service in the trainset's maintenance records.
(3) A trainset on which the entire image recording system, or an image recording device in a leading trainset cab used in revenue service, has been taken out of service as provided in paragraphs (i)(1)(i) or (ii) of this section may be used as a leading trainset cab in revenue service only until the next pre-service inspection required under the railroad's inspection, testing, and maintenance program.
(4) A trainset with an image recording device that has been taken out of service on only one cab end may be used in revenue service beyond the next pre-service inspection without repair provided the other cab end is the leading end of the trainset and the image recording system is otherwise operative for that cab end.
(5) A trainset with an inoperative image recording device alone is not deemed to be in an improper condition, unsafe to operate, or non-complying under § 299.447. However, a trainset with an entire image record system taken out of service or image recording devices taken out service in both cab ends, may not be used in revenue service beyond the next pre-service inspection required under the railroad's inspection, testing, and maintenance program without repair or replacement of the non-operative system or devices.
(j) Disabling or interfering with locomotive-mounted audio and video recording equipment. Any individual who willfully disables or interferes with the intended functioning of image or audio recording system equipment mounted in a leading trainset cab used in revenue service, or who tampers with or alters the data recorded by such equipment, is subject to a civil penalty and to disqualification from performing safety-sensitive functions on a railroad as provided in parts 209 and 218 of this chapter.
(k) Employee protections. (1) If inward-facing image or in-cab audio trainset recordings are utilized to conduct operational tests and inspections under § 299.505, the railroad shall adopt and comply with a procedure in its operational tests and inspections program that ensures employees are randomly subject to such operational tests and inspections involving image or audio recordings. The procedure adopted must:
(i) Establish objective, neutral criteria to ensure every employee subject to such operational tests and inspections is selected randomly for such operational tests and inspections within a specified time frame;
(ii) Not permit subjective factors to play a role in selection, i.e., no employee may be selected based on the exercise of the railroad's discretion; and
(iii) Require that any operational test or inspection using trainset image or audio recordings be performed within 72 hours of the completion of the employee's tour of duty that is the subject of the operational test. Any operational test performed more than 72 hours after the completion of the tour of duty that is the subject of the test is a violation of this section. The 72-hour limitation does not apply to investigations of railroad accidents/incidents or to violations of Federal railroad safety laws, regulations, or orders, or any criminal laws.
(2) FRA may review the railroad's procedure implementing paragraph (k)(1) of this section, and, for cause stated, may disapprove such procedure under § 299.505(h).
§ 299.501   Purpose.
Through the requirements of this subpart, FRA learns the condition of the operating rules and practices in use by the railroad. The rules and practices covered by this subpart include the procedures for instruction and testing of all employees involved with the movement of rail vehicles, including drivers, on-board attendants, station platform attendants, general control center staff, and all maintenance staff, which are necessary to ensure that they possess the requisite skill and knowledge of the rules and operating practices to maintain the safety of the system.
§ 299.503   Operating rules; filing and recordkeeping.
(a) Prior to commencing operations, the railroad shall develop a code of operating rules, timetables, and timetable special instructions. The initial code of operating rules, timetables, and timetable special instructions shall be based on practices and procedures proven on the Tokaido Shinkansen system.
(b) The railroad shall keep one copy of its current code of operating rules, timetables, timetable special instruction, at its system headquarters, and shall make them available to FRA for inspection and copying during normal business hours. If the railroad elects to maintain an electronic record, the railroad must satisfy the conditions listed in § 299.11.
§ 299.505   Programs of operational tests and inspections; recordkeeping.
(a) Requirement to conduct operational tests and inspections. The railroad shall periodically conduct operational tests and inspections to determine the extent of employee knowledge, application, and compliance with its code of operating rules, timetables, and timetable special instructions in accordance with a written program retained at its system headquarters.
(b) Railroad and railroad testing officer responsibilities. (1) Each railroad officer who conducts operational tests and inspections (railroad testing officer) shall—
(i) Be qualified on the railroad's operating rules in accordance with § 299.507;
(ii) Be qualified on the operational testing and inspection program requirements and procedures relevant to the testing and inspections the officer will conduct;
(iii) Receive appropriate field training, as necessary to achieve proficiency, on each operational test or inspection that the officer is authorized to conduct; and
(iv) Conduct operational tests and inspections in accordance with the railroad's program of operational tests and inspections.
(2) The railroad shall maintain a record documenting qualification of each railroad testing officer. The record shall be retained by the railroad and shall be made available to representatives of the FRA for inspection and copying during normal business hours. If the railroad elects to maintain an electronic record, the railroad must satisfy the conditions listed in § 299.11.
(c) Written program of operational tests and inspections. Within 30 days of commencing operations, the railroad shall have a written program of operational tests and inspections in effect. The railroad shall maintain one copy of its current program for periodic performance of the operational tests and inspections required by paragraph (a) of this section, and shall maintain one copy of each subsequent amendment to the program as amendments are made. These records shall be retained at the system headquarters of the railroad for three calendar years after the end of the calendar year to which they relate. These records shall be made available to representatives of the FRA for inspection and copying during normal business hours. The program shall—
(1) Provide for operational testing and inspection under the various operating conditions on the railroad;
(2) Describe each type of operational test and inspection adopted, including the means and procedures used to carry it out;
(3) State the purpose of each type of operational test and inspection;
(4) State the frequency with which each type of operational test and inspection is conducted;
(5) The program shall address with particular emphasis those operating rules that cause or are likely to cause the most accidents or incidents, such as those accidents or incidents identified in the six-month reviews and the annual summaries as required under paragraphs (e) and (f) of this section;
(6) Identify the officer(s) by name and job title responsible for ensuring that the program of operational tests and inspections is properly implemented and is responsible for overseeing the entire program. The responsibilities of such officer(s) shall include, but not be limited to, ensuring that the railroad's testing officers are directing their efforts in an appropriate manner to reduce accidents/incidents and that all required reviews and summaries are completed; and
(7) Include a schedule for making the program fully operative within 210 days after it begins.
(d) Records. (1) The railroad shall keep a written or electronic record of the date, time, place, and result of each operational test and inspection that was performed in accordance with its program. Each record shall specify the officer administering the test and inspection and each employee tested. These records shall be retained at the system headquarters of the railroad for one calendar year after the end of the calendar year to which they relate. These records shall be made available to representatives of the FRA for inspection and copying during normal business hours.
(2) The railroad shall retain one copy of its current program for periodic performance of the operational tests and inspections required by paragraph (a) of this section and one copy of each subsequent amendment to such program. These records shall be retained for three calendar years after the end of the calendar year to which they relate at the system headquarters where the tests and inspections are conducted. These records shall be made available to representatives of the FRA for inspection and copying during normal business hours.
(e) Reviews of tests and inspections and adjustments to the program of operational tests —(1) Reviews by the railroad. Not less than once every 180 days the railroad's designated officer(s) shall conduct periodic reviews and analyses as provided in this paragraph and shall retain, at its system headquarters, one copy of the reviews. Each such review shall be completed within 30 days of the close of the period. The designated officer(s) shall conduct a written review of—
(i) The operational testing and inspection data for the system to determine compliance by the railroad testing officers with its program of operational tests and inspections required by paragraph (c) of this section. At a minimum, this review shall include the name of each railroad testing officer, the number of tests and inspections conducted by each officer, and whether the officer conducted the minimum number of each type of test or inspection required by the railroad's program;
(ii) Accident/incident data, the results of prior operational tests and inspections, and other pertinent safety data for the system to identify the relevant operating rules related to those accidents/incidents that occurred during the period. Based upon the results of that review, the designated officer(s) shall make any necessary adjustments to the tests and inspections required of railroad officers for the subsequent period(s); and
(iii) Implementation of the program of operational tests and inspections from a system perspective, to ensure that it is being utilized as intended, that the other reviews provided for in this paragraph have been properly completed, that appropriate adjustments have been made to the distribution of tests and inspections required, and that the railroad testing officers are appropriately directing their efforts.
(2) Records retention. The records of reviews required in paragraphs (e)(1) of this section shall be retained for a period of one year after the end of the calendar year to which they relate and shall be made available to representatives of FRA for inspection and copying during normal business hours.
(f) Annual summary on operational tests and inspections. Before March 1 of each calendar year, the railroad shall retain, at its system headquarters, one copy of a written summary of the following with respect to its previous year's activities: The number, type, and result of each operational test and inspection that was conducted as required by paragraphs (a) and (c) of this section. These records shall be retained for three calendar years after the end of the calendar year to which they relate and shall be made available to representatives of FRA for inspection and copying during normal business hours.
(g) Electronic recordkeeping. Nothing in this section precludes the railroad from maintaining the information required to be retained under this part in an electronic format provided that the railroad satisfy the conditions listed in § 299.11.
(h) Disapproval of program. Upon review of the program of operational tests and inspections required by this section, the Associate Administrator for Safety may, for cause stated, disapprove the program in whole or in part. Notification of such disapproval shall be made in writing and specify the basis for the disapproval decision. If the Associate Administrator for Safety disapproves the program—
(1) The railroad has 35 days from the date of the written notification of such disapproval to—
(i) Amend its program; or
(ii) Provide a written response in support of the program to the Associate Administrator for Safety. If the Associate Administrator for Safety still disapproves the program in whole or in part after receiving the railroad's written response, the railroad shall amend its program.
(2) A failure to adequately amend the program will be considered a failure to implement a program under this subpart.
§ 299.507   Program of instruction on operating rules; recordkeeping.
(a) To ensure that each railroad employee whose activities are governed by the railroad's operating rules understands those rules, the railroad periodically shall instruct each such employee on the meaning and application of its operating rules with a written program developed under § 299.13(c)(3) and retained at its system headquarters.
(b) Prior to commencing operations, the railroad shall file and retain one copy of its current program for the periodic instruction of its employees as required by paragraph (a) of this section and shall file and retain one copy of any amendment to that program as amendments are made. These records shall be retained at the railroad's system headquarters for one calendar year after the end of the calendar year to which they relate. These records shall be made available to representatives of the FRA for inspection and copying during normal business hours. This program shall—
(1) Describe the means and procedures used for instruction of the various classes of affected employees;
(2) State the frequency of instruction and the basis for determining that frequency;
(3) Include a schedule for completing the initial instruction of employees who are already employed when the program begins;
(4) Begin on the date of commencing operations; and
(5) Provide for initial instruction of each employee hired after the program begins.
(c) The railroad is authorized to retain by electronic recordkeeping its program for periodic instruction of its employees on operating rules, provided that the requirements stated in § 299.11 are satisfied.
§ 299.601   Responsibility for verification demonstrations and tests.
The railroad shall comply with the pre-revenue qualification tests and verification requirements set forth in this subpart to demonstrate the overall safety of the system, prior to revenue operations.
§ 299.603   Preparation of system-wide qualification test plan.
(a) Prior to execution of any tests as defined in this subpart, the railroad shall develop a system-wide qualification test plan, that identifies the tests that will be carried out, to demonstrate the operability of all system elements, including track and infrastructure, signal and trainset control system, communications, rolling stock, software, and operating practices, and the system as a whole.
(b) The system-wide qualification test plan shall be submitted to FRA in accordance with § 299.9 for review at least 180 days prior to testing. FRA shall notify the railroad, in writing, within 45 days of receipt of the railroad's submission, and identify any deficiencies in the test plan. FRA will notify the railroad of any procedures to be submitted for review. The plan shall include the following:
(1) A list of all tests to be conducted;
(2) A summary statement of the test objectives;
(3) A planned schedule for conducting the tests which indicates the sequence of testing and interdependencies; and
(4) The approach taken for—
(i) Verifying results of installation tests performed by contractors and manufacturers;
(ii) Functional and performance qualification testing of individual safety-related equipment, facilities, and subsystems in accordance with § 299.605;
(iii) Pre-revenue service system integration testing of the system per § 299.607, that includes vehicle/track system qualification testing per § 299.609;
(iv) Simulated revenue operations of the system per § 299.611;
(v) Compliance with operating rules as per subpart E of this part;
(vi) Training and qualification of all personnel involved in the test program to conduct tests safely and in accordance with operating rules;
(vii) Verification of all emergency preparedness procedures; and
(viii) Field testing of the railroad's uncertified PTC system and regression testing of its FRA-certified PTC system, under § 299.201.
(c) The railroad shall adopt and comply with the system-wide qualification test plan, including completion of all tests required by the plan.
(d) After FRA review of the system-wide test plan, detailed test procedures as required by paragraph (b) of this section shall be submitted 15 days prior to testing to FRA in accordance with § 299.9 for review.
(e) Each test procedure shall include the following elements:
(1) A clear statement of the test objectives. One of the principal test objectives shall be to demonstrate that the railroad's system meets the safety design and performance requirements specified in this part when operated in the environment in which it will be used;
(2) Any special safety precautions to be observed during the testing;
(3) A description of the railroad property or facilities to be used to conduct the tests;
(4) Prerequisites for conducting each test;
(5) A detailed description of how the tests are to be conducted. This description shall include—
(i) An identification of the systems and equipment to be tested;
(ii) The method by which the systems and equipment shall be tested;
(iii) The instrumentation to be used and calibration procedures;
(iv) The means by which the test results will be recorded, analyzed and reported to FRA;
(v) A description of the information or data to be obtained;
(vi) A description of how the information or data obtained is to be analyzed or used;
(vii) A description of any criteria to be used as safety limits during the testing;
(viii) The criteria to be used to evaluate performance of the systems and equipment. If system qualification is to be based on extrapolation of less than full-level testing results, the analysis done to justify the validity of the extrapolation shall be described; and
(ix) Inspection, testing, and maintenance procedures to be followed to ensure that testing is conducted safely.
(f) The railroad shall provide FRA notice at least 30 days in advance of the times and places of any domestic testing and notice at least 90 days in advance for testing not conducted domestically to permit FRA observation of such tests.
§ 299.605   Functional and performance qualification tests.
The railroad shall conduct functional and performance qualification tests, prior to commencing revenue operations, to verify that all safety-critical components meet all functional and all performance specifications.
§ 299.607   Pre-revenue service system integration testing.
(a) Prior to commencing revenue operations, the railroad shall conduct tests of the trainsets throughout the system to—
(1) Verify mechanical positioning of the overhead catenary system; and
(2) Verify performance of the trainset, track, and signal and trainset control systems.
(b) The railroad shall demonstrate safe operation of the system during normal and degraded-mode operating conditions. At a minimum, the following operation tests shall be performed:
(1) Slow-speed operation of a trainset;
(2) Verification of correct overhead catenary and pantograph interaction;
(3) Verification of trainset clearance at structures and passenger platforms;
(4) Incremental increase of trainset speed;
(5) Performance tests on trainsets to verify braking rates in accordance with § 299.409;
(6) Verification of vehicle noise;
(7) Verification of correct vehicle suspension characteristics;
(8) Vehicle/track system qualification as defined in § 299.609;
(9) Load tests with vehicles to verify relay settings and signal and communication system immunization;
(10) Monitoring of utility supply circuits and telephone circuits to ensure the adequacy of power supplies, and to verify that transient-related disturbances are within acceptable limits;
(11) Verification of vehicle detection due to shunting of signal system circuits;
(12) Verification of safe operation of the signal and trainset control system as required by subpart B of this part;
(13) Tests of trainset radio reception during system-wide vehicle operation; and
(14) Verification of electromagnetic interference/electromagnetic compatibility between various subsystems.
§ 299.609   Vehicle/track system qualification.
(a) General. All vehicles types intended to operate in revenue service shall be qualified for operation in accordance with this subpart. A qualification program shall be used to demonstrate that the vehicle/track system will not exceed the wheel/rail force safety limits, and the carbody and bogie acceleration criteria specified in paragraph (h) of this section—
(1) At any speed up to and including 10 km/h (6 mph) above the proposed maximum operating speed; and
(2) On track meeting the requirements for the class of track associated with the proposed maximum operating speed as defined in § 299.309. For purposes of qualification testing, speeds may exceed the maximum allowable operating speed for the class of track in accordance with the test plan approved by FRA.
(b) New vehicle/track system qualification. Vehicle types not previously qualified under this subpart shall be qualified in accordance with the requirements of this paragraph (b).
(1) Carbody acceleration. For vehicle types intended to operate in revenue service at track class H4 speeds or above, qualification testing conducted over a representative segment of the route shall demonstrate that the vehicle type will not exceed the carbody lateral and vertical acceleration safety limits specified in paragraph (h) of this section.
(2) Bogie lateral acceleration. For vehicle types intended to operate at track class H4 speeds or above, qualification testing conducted over a representative segment of the route shall demonstrate that the vehicle type will not exceed the bogie lateral acceleration safety limit specified in paragraph (h) of this section.
(3) Measurement of wheel/rail forces. For vehicle types intended to operate at track class H4 speeds or above, qualification testing conducted over a representative segment of the route shall demonstrate that the vehicle type will not exceed the wheel/rail force safety limits specified in paragraph (h) of this section.
(c) Previously qualified vehicle/track system. Vehicle/track systems previously qualified under this subpart for a track class and cant deficiency on one route may be qualified for operation at the same class and cant deficiency on another route through testing to demonstrate compliance with paragraph (a) of this section in accordance with the following:
(1) Carbody acceleration. For vehicle types intended to operate at track class H4 speeds and above, qualification testing conducted over a representative segment of the new route shall demonstrate that the vehicle type will not exceed the carbody lateral and vertical acceleration safety limits specified in paragraph (h) of this section.
(2) Bogie lateral acceleration. For vehicle types intended to operate at track class H4 speeds or above, measurement of bogie lateral acceleration during qualification testing shall demonstrate that the vehicle type will not exceed the bogie lateral acceleration safety limit specified in paragraph (h) of this section. Measurement of bogie lateral acceleration, if conducted, shall be performed over a representative segment of the new route.
(d) Vehicle/track system qualification testing plan. To obtain the data required to support the qualification program outlined in paragraphs (b) and (c) of this section, the railroad shall submit a qualification testing plan as required by § 299.603(b) at least 60 days prior to testing, requesting approval to conduct the testing at the desired speeds and cant deficiencies. This test plan shall provide for a test program sufficient to evaluate the operating limits of the track and vehicle type and shall include—
(1) Identification of the representative segment of the route for qualification testing;
(2) Consideration of the operating environment during qualification testing, including operating practices and conditions, the signal system, and trainset on adjacent tracks;
(3) The maximum angle found on the gauge face of the designed (newly-profiled) wheel flange referenced with respect to the axis of the wheelset that will be used for the determination of the Single Wheel L/V Ratio safety limit specified in paragraph (h) of this section; and
(4) A target maximum testing speed in accordance with paragraph (a) of this section and the maximum testing cant deficiency.
(e) Qualification testing. Upon FRA approval of the vehicle/track system qualification testing plan, qualification testing shall be conducted in two sequential stages as required in this subpart.
(1) Stage-one testing shall include demonstration of acceptable vehicle dynamic response of the subject vehicle as speeds are incrementally increased—
(i) On a segment of tangent track, from acceptable track class H4 speeds to the target maximum test speed; and
(ii) On a segment of curved track, from the speeds corresponding to 76 mm (3 inches) of cant deficiency to the maximum testing cant deficiency.
(2) When stage-one testing has successfully demonstrated a maximum safe operating speed and cant deficiency, stage-two testing shall commence with the subject equipment over a representative segment of the route as identified in paragraph (d)(1) of this section.
(i) A test run shall be conducted over the route segment at the speed the railroad will request FRA to approve for such service.
(ii) An additional test run shall be conducted at 10 km/h (6 mph) above this speed.
(3) When conducting stage-one and stage-two testing, if any of the monitored safety limits are exceeded on any segment of track, testing may continue provided that the track location(s) where any of the limits are exceeded be identified and test speeds be limited at the track location(s) until corrective action is taken. Corrective action may include making adjustments to the track, to the vehicle, or to both of these system components.
(4) Prior to the start of the qualification testing program, a qualifying Track Geometry Measurement System (TGMS) shall be operated over the intended route within 30 calendar days prior to the start of the qualification testing program to verify compliance with the track geometry limits specified in § 299.311.
(f) Qualification testing results. The railroad shall submit a report to FRA detailing all the results of the qualification program in accordance with § 299.613. The report shall be submitted at least 60 days prior to the intended operation of the equipment in revenue service over the route.
(g) Cant deficiency. Based on the test results and all other required submissions, FRA will approve a maximum trainset speed and value of cant deficiency for revenue service, normally within 45 days of receipt of all the required information. FRA may impose conditions necessary for safely operating at the maximum approved trainset speed and cant deficiency.
(h) Vehicle/track interaction regulatory limits. The following vehicle/track interaction regulatory limits shall not be exceeded during qualification testing in accordance with this section.
§ 299.611   Simulated revenue operations.
(a) The railroad shall conduct simulated revenue operations for a minimum period of two weeks prior to revenue operations to verify overall system performance, and provide operating and maintenance experience.
(b) The railroad shall maintain a log of tests conducted during the simulated revenue operations period. This log of tests shall identify any problems encountered during testing, and actions necessary to correct defects in workmanship, materials, equipment, design, or operating parameters.
(c) The railroad shall implement all actions necessary to correct safety defects, as identified by the log prior to the initiation of revenue service.
§ 299.613   Verification of compliance.
(a) The railroad shall prepare a report detailing the results of functional and performance qualification tests, pre-revenue service system integration testing, and vehicle/track system qualification tests required under §§ 299.605, 299.607, and 299.609 respectively. The report shall identify any problems encountered during testing, and alternative actions necessary to correct defects in workmanship, materials, equipment, design, or operating parameters.
(b) The railroad shall implement all actions necessary to correct defects, as identified by the report.
(c) The railroad shall submit the report(s) required by paragraph (a) of this section to FRA prior to commencing simulated revenue operations and at least 60 days prior to the intended start of full revenue service per § 299.609(f).
(d)(1) Prior to implementing a major upgrade to any safety-critical system component or sub-system, or prior to introducing any new safety-critical technology, the railroad shall submit for FRA approval the detailed test procedures and/or analysis in accordance with § 299.603(d).
(2) The railroad shall prepare a report detailing the results of functional and performance qualification tests, pre-revenue service system integration testing, and vehicle/track system qualification tests required under §§ 299.605, 299.607, and 299.609 respectively pertaining to a major upgrade to any safety-critical system component or sub-system, or introduction of any new safety-critical technology. The report shall identify any problems encountered during testing, and alternative actions necessary to correct defects in workmanship, materials, equipment, design, or operating parameters.
§ 299.701   General requirements.
Under the procedures provided in § 299.713, the railroad shall obtain FRA approval of a written inspection, testing, and maintenance program. The program shall provide detailed information, consistent with the requirements set forth in §§ 299.337 through 299.349, and 299.445(a), on the inspection, testing, and maintenance procedures necessary for the railroad to safely operate its system. This information shall include a detailed description of—
(a) Safety inspection procedures, intervals, and criteria;
(b) Test procedures and intervals;
(c) Scheduled preventive maintenance intervals;
(d) Maintenance procedures; and
(e) Special testing equipment or measuring devices required to perform safety inspections and tests.
§ 299.703   Compliance.
After the railroad's inspection, testing, and maintenance program is approved by FRA pursuant to the requirements and procedures set forth in § 299.713, the railroad shall adopt and comply with the program, and shall perform—
(a) All inspections and tests described in the program in accordance with the procedures and criteria that the railroad identified as safety-critical; and
(b) All maintenance tasks and procedures described in the program in accordance with the procedures and intervals that the railroad identified as safety-critical.
§ 299.705   Standard procedures for safely performing inspection, testing, and maintenance, or repairs.
(a) The railroad shall establish written standard procedures for performing all safety-critical or potentially hazardous inspection, testing, maintenance, and repair tasks. These standard procedures shall—
(1) Describe in detail each step required to safely perform the task;
(2) Describe the knowledge necessary to safely perform the task;
(3) Describe any precautions that shall be taken to safely perform the task;
(4) Describe the use of any safety equipment necessary to perform the task;
(5) Be approved by the railroad's official responsible for safety;
(6) Be enforced by the railroad's supervisors responsible for accomplishing the tasks; and
(7) Be reviewed annually by the railroad. The railroad shall provide written notice to FRA in accordance with § 299.9 at least one month prior to the annual review. If the Associate Administrator or their designee indicates a desire to be present, the railroad shall provide a scheduled date and location for the annual review. If the Associate Administrator requests the annual review be performed on another date but the railroad and the Associate Administrator are unable to agree on a date for rescheduling, the annual review may be performed as scheduled.
(b) The inspection, testing, and maintenance program required by this section is not intended to address and should not include procedures to address employee working conditions that arise in the course of conducting the inspections, tests, and maintenance set forth in the program. When reviewing the railroad's program, FRA does not intend to review or approve any portion of the program that relates to employee working conditions.
§ 299.707   Maintenance intervals.
(a) The initial scheduled maintenance intervals shall be based on those in effect on the Tokaido Shinkansen system as required under § 299.13(c)(1).
(b) The maintenance interval of safety-critical components shall be changed only when justified by accumulated, verifiable operating data, and approved by FRA under paragraph § 299.713.
§ 299.709   Quality control program.
The railroad shall establish an inspection, testing, and maintenance quality control program enforced by the railroad or its contractor(s) to reasonably ensure that inspections, testing, and maintenance are performed in accordance with inspection, testing, and maintenance program established under this subpart.
§ 299.711   Inspection, testing, and maintenance program format.
The submission to FRA for each identified subsystem shall consist of two parts—
(a) The complete inspection, testing, and maintenance program, in its entirety, including all required information prescribed in § 299.701, and all information and procedures required for the railroad and its personnel to implement the program.
(b) A condensed version of the program that contains only those items identified as safety-critical, per § 299.703 submitted for approval by FRA under § 299.713.
§ 299.713   Program approval procedure.
(a) Submission. Except as provided in § 299.445(a)(2), the railroad shall submit for approval an inspection, testing, and maintenance program as described in § 299.711(b) not less than 180 days prior to pre-revenue service system integration testing. The program shall be submitted to FRA in accordance with § 299.9. If the railroad seeks to amend an approved program as described in § 299.711(b), the railroad shall file with FRA in accordance with § 299.9 for approval of such amendment not less than 60 days prior to the proposed effective date of the amendment. A program responsive to the requirements of this subpart or any amendment to the program shall not be implemented prior to FRA approval.
(b) Contents. Each program or amendment shall contain:
(1) The information prescribed in § 299.701 for such program or amendment; and
(2) The name, title, address, and telephone number of the primary person to be contacted with regard to review of the program, its content, or amendments.
(c) Approval. (1) Within 90 days of receipt of the initial inspection, testing, and maintenance program, FRA will review the program. The Associate Administrator will notify the primary railroad contact person in writing whether the inspection, testing, and maintenance program is approved and, if not approved, the specific points in which the program is deficient. Deficiencies identified shall be addressed as directed by FRA prior to implementing the program.
(2) FRA will review each proposed amendment to the program that relaxes an FRA-approved requirement within 45 days of receipt. The Associate Administrator will then notify the primary railroad contact person in writing whether the proposed amendment has been approved by FRA and, if not approved, the specific points in which the proposed amendment is deficient. The railroad shall correct any deficiencies as directed by FRA prior to implementing the amendment. For amendments proposing to make an FRA-approved program requirement more stringent, the railroad is permitted to implement the amendment prior to obtaining FRA approval.
(3) Following initial approval of a program or amendment, FRA may reopen consideration of the program or amendment for cause stated.
(4) The railroad may, subject to FRA review and approval under § 299.15, implement inspection, testing, maintenance procedures and criteria, incorporating new or emerging technology.